-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WBJHKRxAD53yFeTXcczsJm8wuWsYZFpZ5B2bSlAeh0Fdq/HTbjMiM2u9b+WvVBIa XkK4ghVdSh063xZHGGca3w== 0000893750-02-000716.txt : 20021121 0000893750-02-000716.hdr.sgml : 20021121 20021121163455 ACCESSION NUMBER: 0000893750-02-000716 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20021121 ITEM INFORMATION: Other events ITEM INFORMATION: Financial statements and exhibits FILED AS OF DATE: 20021121 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN WATER WORKS CO INC CENTRAL INDEX KEY: 0000318819 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] IRS NUMBER: 510063696 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-03437 FILM NUMBER: 02836354 BUSINESS ADDRESS: STREET 1: 1025 LAUREL OAK RD CITY: VOORHEES STATE: NJ ZIP: 08043 BUSINESS PHONE: 6093468200 MAIL ADDRESS: STREET 1: 1025 LAUREL OAK ROAD CITY: VOORHEES STATE: NJ ZIP: 08043 8-K 1 form8k.txt FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 21, 2002 AMERICAN WATER WORKS COMPANY, INC. ---------------------------------------------- (Exact name of registrant specified in its charter) Delaware 0001-03437 51-0063696 - ------------------------------- ------------ ----------------- (State or other Jurisdiction (Commission (I.R.S. Employer of Incorporation) File Number) Identification No.) 1025 Laurel Oak Road, P.O. Box 1770 Voorhees, NJ 08043 - ----------------------------------------------------- ----------------- (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: (856) 346-8200 ITEM 5. OTHER EVENTS. On November 21, 2002, American Water Works Company, Inc. issued a press release announcing the receipt of certain state regulatory approvals in respect of its proposed merger with a subsidiary of RWE AG. The press release is attached to this Form 8-K as Exhibit 99.1. ITEM 7: FINANCIAL STATEMENTS, PRO FORMA FINANCIAL STATEMENTS AND EXHIBITS. (a) Not applicable. (b) Not applicable. (c) Exhibits. The exhibit listed below and in the accompanying Exhibit Index is filed as part of this Current Report on Form 8-K. Exhibit No. Description - ----------- ----------- 99.1 Press Release, dated as of November 21, 2002, of American Water Works Company, Inc. SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. AMERICAN WATER WORKS COMPANY, INC. By: /s/ W. Timothy Pohl ------------------------------------ Name: W. Timothy Pohl Title: General Counsel and Secretary Date: November 21, 2002 EXHIBIT INDEX Exhibit No. Description - ----------- ----------- 99.1 Press Release, dated as of November 21, 2002, of American Water Works Company, Inc. EX-99.1 3 exh99_1.txt PRESS RELEASE Exhibit 99.1 FOR IMMEDIATE RELEASE James E. Harrison Vice President, Investor Relations 856-346-8207 www.amwater.com American Water Works Receives Regulatory Approval In Three More States for Acquisition by RWE Voorhees, NJ - November 21, 2002 - American Water Works Company, Inc. (NYSE:AWK) announced that yesterday approvals were received from state regulatory agencies in Illinois, New Jersey and New York for the Company's acquisition by RWE AG. Requests for regulatory approval are still pending in Arizona, California and West Virginia. The Public Service Commission in West Virginia approved the transaction on October 23, 2002, and that approval is expected to become effective upon the resolution of certain pending procedural issues. The Company also reported that on November 15, 2002 the Administrative Law Judge (ALJ) that conducted the investigation of the request in California issued a recommendation that the California Public Utility Commission approve the transaction with conditions. The ALJ's decision was received one month earlier than anticipated by the original calendar established by the Commission. As a result of these recent developments, the Company now anticipates the acquisition by RWE AG may occur during the first quarter of 2003. Forward looking statements in this report, including, without limitation, statements relating to the Company's plans, strategies, objectives, expectations, intentions and adequacy of resources, are made pursuant to the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. These forward looking statements involve known and unknown risks, uncertainties and other factors that may cause the actual results, performance or achievements of the Company to be materially different from any future results, performance or achievements expressed or implied by such forward looking statements. These factors include, among others, the following: the success of pending applications for rate increases, inability to obtain, or to meet conditions imposed for, regulatory approval of pending acquisitions, weather conditions that tend to extremes of temperature or duration; availability, terms and development of capital; business abilities and judgment of personnel; changes in, or the failure to comply with governmental regulations, particularly those affecting the environment and water quality; competition; success of operating initiatives, advertising and promotional efforts; existence of adverse publicity or litigation; changes in business strategy or plans; quality of management; general economic and business conditions; the ability to satisfy the conditions to closing set forth in the definitive agreement; and other factors described in filings of the Company with the SEC. The Company undertakes no obligation to publicly update or revise any forward looking statement, whether as a result of new information, future events or otherwise. ## -----END PRIVACY-ENHANCED MESSAGE-----